Anita Faulkner has been Vice President/Secretary of Sycamore Financial Group since November 1993, is a control person of the firm and directly owns under 5% of it.
Sycamore Financial Group, Inc. is a Kokomo, IN firm with $787M under management, 1,146 clients and 4 advisers across 3 offices, as of its March 2026 filing.
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 99TO | Operations Professional Examination | 2 January 2023 |
| Series 72 | Government Securities Representative Examination | 2 January 2023 |
| SIE | Securities Industry Essentials Examination | Credited |
| Series 24 | General Securities Principal Examination | 31 January 1994 |
| Series 7 | General Securities Representative Examination | 20 June 1987 |
| Series 63 | Uniform Securities Agent State Law Examination | 6 January 1987 |
- Name
- Operations Professional Examination
- Name
- Government Securities Representative Examination
- Name
- Securities Industry Essentials Examination
- Name
- General Securities Principal Examination
- Name
- General Securities Representative Examination
- Name
- Uniform Securities Agent State Law Examination
- Full name
- Anita Lynn Faulkner
- CRD
- 1575683
- Firm
- Sycamore Financial Group · CRD 14143
- Role
- Vice President/Secretary
- Registration
- No current adviser or broker registration
- Disciplinary history
- Not yet shown here · SEC record
Where does Anita Faulkner work?
Anita Faulkner has been Vice President/Secretary of Sycamore Financial Group, Inc. since November 1993, and is a control person of the firm.
Does Anita Faulkner have a current investment-adviser registration?
Anita Faulkner has no current investment-adviser or broker registration.
What exams has Anita Faulkner passed?
Anita Faulkner has passed 5 licensing exams: the Series 63, Series 7, Series 24, Series 99TO and Series 72. The earliest, the Series 63, was passed in January 1987. FINRA credited Anita Faulkner with the SIE, which began in October 2018.
Where was Anita Faulkner previously registered as an investment adviser?
Anita Faulkner has past investment-adviser registrations through Sycamore Financial Group, December 1998 to January 2020, across 1 firm.
Is Anita Faulkner registered with FINRA?
No. Anita Faulkner has no current broker registration.
How can I verify Anita Faulkner’s record?
Search CRD 1575683 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Anita Faulkner’s full registration record.
- Craig SmithPresident/Treasurer/Chief Compliance Officer
- Phillip F SmithNon-Registered Owner
- Alec F SmithNon-Registered Owner